OVERVIEW
The Office of the Registrar of Consultant Lobbyists (ORCL) was created following the Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration Act 2014 (‘The Act’) coming into force. The ORCL was created to oversee the Register of Consultant Lobbyists. Sanctuary Counsel signed onto the Register in December 2022.
The work of Sanctuary Counsel takes many forms, the vast majority of which does not fall under The Act’s definition of lobbying. By registering as consultant lobbyists, all employees of Sanctuary Counsel must adhere to the principles of transparency and good governance in our client work, some of which may fall under the ORCL’s definition of consultant lobbying.
This document provides specific guidance on the expectations for, and rules governing, conduct of Sanctuary Counsel staff when undertaking any client work that may be related to lobbying in the UK. It is part of a framework of policies covering all aspects of our work.
The policies contained herein apply to people employed by Sanctuary Counsel as full-time staff or anyone working under a temporary contract in support of the firm on lobbying services.
As underlined by our values, we expect staff to operate at all times with the utmost integrity and to always strive to deliver the gold standard of analysis, advice, and execution in their work.
Our staff are expected to always work in accordance with the standards of behaviour set out in the staff handbook whenever they are working for, or representing Sanctuary Counsel and/or its clients.
clients
When taking on new clients, the senior leadership team (Partners) will determine whether we have any existing conflicts of interest, which could preclude our involvement in a commercial relationship with said client.
Sanctuary Counsel will not take on new clients where we know a conflict of interest exists, or where there are ethical or other legitimate concerns regarding the nature, business, or provenance of a potential client.
We do not engage in lobbying on matters where a client has a conflict of interests with another client, or we believe such a conflict could emerge.
In order to undertake any lobbying activity, clients must give Sanctuary Counsel staff clear instruction and consent to undertake such activity. This must be given in writing.
We only lobby for clients where their instructions are clear and have come from a person authorised within the client organisation to give those instructions.
register of consultant lobbyists
The Act mandated the creation of the Register of Consultant Lobbyists. Any organisation that conducts the business of consultant lobbying, as defined by the act, is required to join the register.
The Government’s stated intention underpinning the introduction of the Register was to bring greater transparency to the process of lobbying Ministers and Permanent Secretaries on behalf of a third party.
The key points of the Register and how it affects Sanctuary Counsel are as follows:
We must submit quarterly returns and list any clients we have lobbied for.
We do not have to list all of our clients, only those where we have undertaken lobbying activities.
We do not have to submit any details of the conversation, and confidentiality must always be respected.
Sanctuary Counsel staff should follow instructions from their line managers on what to record.
If staff have any concerns or questions about work relating to lobbying, they should seek advice from line managers or any of the Partners. The Act can be found here: https://www.legislation.gov.uk/ukpga/2014/4/contents/enacted.
Lobbying occurs where a person or entity has had direct oral, written or electronic communications personally with a Minister of the Crown, Permanent Secretary or equivalent Government Representative.
The development, adoption or modification of primary or subordinate legislation.
The development, adoption or modification of any other policy of the Government.
The taking of any steps by the Government in relation to any contract, grant, financial assistance, licence or authorisation.
The exercise of any other function of Government.
This communication is made in the course of business and in return for payment on behalf of a client, or payment is received with the expectation that the communication will be made at a later date.
Lobbying activity must always be carried out transparently, with integrity and in good faith.
guidance
Our staff must always ensure that clients and colleagues are fully informed about the nature of the representations we make, what can be delivered and achieved through our work, and what other parties must do to enable the desired result.
We must never deliberately conceal our role as representative of a client or employer.
Sanctuary Counsel staff must only provide and use information that is accurate and true in conducting their work.
Activity that constitutes lobbying includes direct oral, written or electronic communications to Ministers of the Crown or Permanent Secretaries, including:
Development of a policy/proposal/legislation
Adoption of a policy/proposal/legislation
Modification of a policy/proposal/legislation
Contracts
Grants
Licences
Financial assistance
Regulation
Should staff engage in any such conversation or communications, they must record their interactions for our regulatory compliance.
Relevant communications are for the UK only.
It does not matter where or how the contact is made or communications relayed.
The communication has to be made directly to a Minister/official.
If the Minister/official initiates at a meeting and there is a conversation relating to a government function, this is lobbying.
If you have any questions about what might constitute lobbying activity, speak to your line manager.
Any electronic communications that constitute lobbying activity must be made using Sanctuary Counsel’s own IT system.
Our expectations for staff with respect to this code of conduct are honesty, transparency, accuracy and full compliance with quarterly reporting.
All Sanctuary Counsel staff are required to read this code of conduct and supporting documents during induction.
All staff are required to read the ORCL guidance: https://registrarofconsultantlobbyists.org.uk/guidance-on-registration-and-qirs-including-specialist-guidance-for-think-tanks-and-support-service-providers-to-appgs/
enforcement and concerns
Failure to comply with the statutory requirements of The Act could result in a fine. If Sanctuary Counsel staff are in doubt, our code requires employees to seek advice from a line manager or any of the Partners.
If any members of staff are suspected to have breached this code or the statutory requirements, they will be subject first to an internal investigation and may enter a disciplinary process.
We take all concerns that anyone might have about lobbying activities very seriously. Should anyone wish to raise a concern or complain about an alleged breach of the code of conduct, please contact Sanctuary Counsel’s Chief Executive in the first instance.
complaints process procedure
Initial Process
Complaints can be made by a member of Sanctuary Counsel or by an external interested party about potential breaches of our code of conduct.
All Complainants can send complaints to our external and independent monitor, the Independent Adjudicator: Steven Janes, Commercial and Corporate Lawyer at Kennedy Cater.
Steven is qualified as a solicitor and has over 25 years’ experience as a corporate and commercial lawyer.
To contact Steven on a confidential basis please use telephone 0207 113 4020 or email steven.janes@kennedycater.com.
All complaints will be treated in the same manner. Any complaint must be made in writing and cite the rule breach to which it refers.
The Assessor will review the complaint and assess whether the complaint can be resolved without a formal process, or whether a formal process is required.
A formal complaints process will not be held if civil or criminal legal action has been initiated until the outcome of that legal action is known.
The Complainant must agree to meet the costs of the Independent Adjudicator if the Independent Adjudicator finds against the Complainant.
The Complainant must agree to respect the confidential nature of the procedure.
The Complainant must agree that the decision of the Independent Adjudicator is final.
The Complaints Process
The complaint will be given to the Independent Adjudicator and to the person or persons about whom the complaint is made.
The Independent Adjudicator will assess the complaint and the response, and may ask clarification questions of either party.
The complaints process will normally be conducted by written representations.
The Independent Adjudicator will determine if:
there is no case to be heard, and the complaint dismissed; or
the complaint is accepted.
Complaint Accepted
If the complaint is accepted, the following process will occur:
If the Respondent is a member of staff:
that staff member will go into the Disciplinary Process of Sanctuary Counsel; and
the Independent Adjudicator may require remedial action from the Respondent.
If the Respondent is Sanctuary Counsel itself:
it will be for the Independent Adjudicator to require remedial action to minimise the risk of future breaches of the Code; and
the Independent Adjudicator may require the determination and outcome to be published on the Sanctuary Counsel website.
Any outcome and disciplinary process or remedial action will be deemed confidential by both parties if or until it has been published on the website.
Complaint Dismissed
Unless both parties agree otherwise, any outcome must remain confidential by both parties for 5 days after the remedial action or disciplinary process has concluded.
This summary of the Sanctuary Counsel Code of Conduct and Complaints Procedure issued on 10 November 2023 replaces all prior versions and remains in effect until further notice.
Sanctuary Counsel
5-8 The Sanctuary
London, SW1P 3JS
T: +44 (0) 207 340 0380